DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Chequers Financial Management LLC
Latest filing Mar 30, 2026
First filing on the tape Feb 25, 2015 · 32 filings
SEC status approved since Jan 19, 2016
RAUM
$1.3B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
21
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2026
Feb 23, 2017$154M then
HNW client RAUM$1.3B as of Mar 30, 2026
Mar 1, 2018$243M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
Feb 23, 20172 then
Employees (5.A)21 as of Mar 30, 2026
Feb 23, 20175 then
Private funds: no history
RAUM +25% over the last fiscal year+27% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $907,068derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $326M, 119 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B99%
- Pension and profit-sharing plans$11.7M0.9%
- Charitable organizations$6.8M0.5%
- Individual clients
- 0reported
- HNW clients
- 244reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,449reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $326M for 119 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Megan Elise Gorman | San Francisco, Ca | Mar 2, 2018 | 22 y | 1 |
| Rodney Rodriguez La Fleur | San Francisco, Ca | Aug 26, 2024 | 10 y | 0 |
| Reed William Mccue | San Francisco, Ca | Jul 7, 2025 | 11 y | 0 |
| Nicole Anne Tanenbaum | San Francisco, Ca | Jul 7, 2025 | 11 y | 0 |
| Patricia Ann DelgrandeCertified Financial Planner | San Francisco, Ca | Oct 1, 2025 | 26 y | 0 |
| Edward James KearneyChartered Financial Consultant | Meridian, Id | Oct 20, 2025 | 37 y | 1 |
| Yukun Wang | San Francisco, Ca | Oct 20, 2025 | 10 y | 0 |
| Natalie Azmi Masarweh | San Francisco, Ca | Oct 20, 2025 | 11 y | 0 |
| Jakob Kekaimalu Adams | San Francisco, Ca | Oct 27, 2025 | 13 y | 0 |
| David Jeung Ow | Irvine, Ca | May 26, 2026 | 27 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Daniel Huston to Ieq Capital, LLCJun 10, 2025 · RIA to RIA
- Eliot Charles Bares to Mcglone Suttner Wealth Management, Inc.Feb 16, 2021 · RIA to RIA
- Stewart Driscoll Preziose to Svb WealthNov 13, 2017 · Other
Joined, latest
- David Jeung Ow from Cambridge Investment Research Advisors, Inc.May 26, 2026 · Other
- Edward James Kearney from Goldman Sachs Wealth Services, L.P.Oct 20, 2025 · Other
- Eliot Charles Bares from Kom Wealth Management Group, LLCJan 8, 2019 · RIA to RIA
- Megan Elise Gorman from Goldman Sachs Wealth Services, L.P.Mar 2, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elise Megan Gorman · Managing Member & Chief Compliance Officercontrolsince 11/2015 · owns 75% or more
- Anne Nicole Tanenbaum · Membercontrolsince 01/2021 · owns less than 5%
- James Edward Kearney · Membersince 01/2018 · owns 10% to 25%
- William Reed Mccue · Membersince 01/2025 · owns less than 5%
- Jeung David Ow · Membersince 01/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 9 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA2 employees
- Meridian, ID1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 12.0 to 21.0 (+75.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (1050 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,272 to 1,449Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 5 to 13Mar 31, 2025 to Mar 30, 2026
- Charity clients · 1.0 to unsetMar 31, 2025 to Mar 30, 2026
- HNW clients · 232 to 244Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 13 to 12Mar 31, 2025 to Mar 30, 2026
- Employees · 12 to 21Mar 31, 2025 to Mar 30, 2026
- Insurance-licensed employees · 0 to 9Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $905M to $1.1BMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $1.0B to $1.3BMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $145M to $172MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $9.6M to $11.7MMar 31, 2025 to Mar 30, 2026
- RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 30, 2026
- Accounts · 1,073 to 1,272Dec 19, 2024 to Mar 31, 2025
- HNW clients · 204 to 232Dec 19, 2024 to Mar 31, 2025
- Pension plan clients · 10 to 13Dec 19, 2024 to Mar 31, 2025
- Assets in custody · $154M to $326MDec 19, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Dec 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $907M to $905MDec 19, 2024 to Mar 31, 2025
- HNW RAUM · $991M to $1.0BDec 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $100M to $145MDec 19, 2024 to Mar 31, 2025
- Pension RAUM · $9.2M to $9.6MDec 19, 2024 to Mar 31, 2025
- RAUM · $1.0B to $1.1BDec 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $722M to $907MMar 23, 2024 to Dec 11, 2024
- HNW RAUM · $801M to $991MMar 23, 2024 to Dec 11, 2024
- Non-discretionary RAUM · $90.0M to $100MMar 23, 2024 to Dec 11, 2024
- Pension RAUM · $6.2M to $9.2MMar 23, 2024 to Dec 11, 2024
- RAUM · $812M to $1.0BMar 23, 2024 to Dec 11, 2024
- Accounts · 921 to 1,073Mar 22, 2023 to Mar 23, 2024
- Charity clients · 0 to 1Mar 22, 2023 to Mar 23, 2024
- HNW clients · 171 to 204Mar 22, 2023 to Mar 23, 2024
- Pension plan clients · 0 to 10Mar 22, 2023 to Mar 23, 2024
- Assets in custody · $105M to $154MMar 22, 2023 to Mar 23, 2024
- Other offices · 1 to 2Mar 22, 2023 to Mar 23, 2024
- Discretionary RAUM · $532M to $722MMar 22, 2023 to Mar 23, 2024
- HNW RAUM · $643M to $801MMar 22, 2023 to Mar 23, 2024
- Non-discretionary RAUM · $111M to $90.0MMar 22, 2023 to Mar 23, 2024
- Pension RAUM · $0 to $6.2MMar 22, 2023 to Mar 23, 2024
- RAUM · $643M to $812MMar 22, 2023 to Mar 23, 2024
- Accounts · 830 to 921Sep 2, 2022 to Mar 22, 2023
- HNW clients · 158 to 171Sep 2, 2022 to Mar 22, 2023
Signals
6 dated events
- Chequers Financial Management Llc reported RAUM $1.3B, up 25% from $1.1B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Daniel Huston left Chequers Financial Management Llc for Ieq Capital, Llc (registered 2025-06-20)Jun 10, 2025 · Advisor changed firm · fact
- Chequers Financial Management Llc reported RAUM $812.0M, up 26% from $642.9M (2023-03-22 to 2024-03-23)Mar 23, 2024 · RAUM change · derived
- Chequers Financial Management Llc reported RAUM $481.4M, up 37% from $352.0M (2021-01-12 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- Anne Nicole Tanenbaum (Member) appeared on Schedule A of Chequers Financial Management LlcMar 23, 2021 · Control person joined · fact
- Chequers Financial Management Llc filed its initial SEC registration (Form ADV)Feb 25, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Chequers Financial Management LLC · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@chequersfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-964-5001reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- CHEQUERSFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 415-964-5001reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026